Fiscal Year 2002
Performance Report
February 2003
Occupational Safety and Health Review Commission
Annual Performance Report
Fiscal Year (FY) 2002
Report Overview
The Review Commission is submitting this report in accordance with the Government Performance and Results Act (GPRA) of 1993, which requires federal agencies to submit a program performance report to the President and Congress. This report is divided into two sections – a Fiscal Year (FY) 2002 Report Summary and the Performance Report itself. A chart comparing the FY 2002 targeted and actual levels of performance for each indicator follows this Report Overview. The FY 2002 Performance Report is organized by strategic goals. An introductory section summarizes the FY 2002 performance for each goal. In FY 2001 the Review Commission revised its Strategic Plan (2000-2005) and Annual Performance Plan (APP) and modified and added performance goals and indicators. This performance report identifies the new goals and indicators developed in fiscal years 2001 and 2002. It also reports on the goals and actual performance for the proceeding four years.
During FY 2002, the Review Commission met 73% of the FY 2002 goals set forth in its FY 2002 Annual Performance Plan (APP). The agency performed well in the areas of case adjudication for cases that proceeded to hearing at the trial level, case settlement disposition within six months, external communications, and most organizational goals. The agency missed, by a slight margin, its goal of reducing the percent of settlements at the trial level that exceed the one year cycle time, two external communication goals and two organizational goals. In addition, the agency did not meet its cycle time goals for case adjudication for cases that were directed for review by and pending before the Commissioners.
The agency’s ability to meet its case disposition goals depends on a variety of factors. These include: (1) continued presence of a quorum at the Commission level; (2) the magnitude and nature of the cases received; (3) the success of the parties' settlement negotiations and the agency's Settlement Part program in reducing the number of hearings needed; and (4) the number, location, length and complexity of trials held. Although these factors are largely outside the Review Commission's control, the Strategic Plan and the APP acknowledge that the Review Commission is committed to working within such constraints to improve its service to the public.
The Review Commission’s Strategic Plan is posted at www.oshrc.gov.
FISCAL YEAR 2002 REPORT SUMMARY
PERFORMANCE GOAL
INDICATORS/TARGET
MET
YES/NO
ACTUAL PERFORMANCE
1.1 Increase the percent of non-complex cases involving a hearing at the ALJ level that are disposed of within 325 days
75% within 325 days
YES
77% of non-complex decisions were disposed of within 325 days at the ALJ level
1.2 Increase the percent of complex cases involving a hearing at the ALJ level that are disposed of within 18 months
75% within 540 days
YES
92% of complex decisions were disposed of within 540 days at the ALJ level
1.3 Increase the percent of cases without a hearing that are disposed of at the ALJ level within six months
75% within 180 days
YES
77% of cases disposed of without hearing were resolved within 180 days at the ALJ level
1.4 Increase the percent of cases without a hearing that are disposed of at the ALJ level in one year
99% within 365 days
NO
Goal was substantially met - 98% of cases disposed of without hearing were resolved within 365 days at the ALJ level
1.5 Increase the percent of Commission-level dispositions issued within 325 days
55% of cases within 325 days
NO
43% of decisions were disposed of within 325 days at the Commission level. Goal was not met because of the lack of a quorum for eight months.
1.6 Reduce the number of cases pending Commission-level disposition for more than two years
30% reduction in the number of cases pending more than 2 years
NO
There was a 22% reduction in cases pending at the Commission level more than two years. Goal was not met because of the lack of a quorum for eight months.
2.1 Improve the effectiveness of our website to ensure its communications remain open, research-friendly, and current through the agency’s world wide website
1 enhancement
YES
Goal was exceeded - 2 enhancements: revised and updated pages “About OSHRC,” and added vacancy announcements to the website.
2.2 Extent to which decisions and other agency publications are made available to the public and litigants through the website
30% of effort
(convert and include older agency decisions)
YES
The agency successfully converted its older decisions electronically to permit the placement of the decision on the agency’s website. This effort is now 100% complete.
2.3 Improve the frequency of publication of CD-ROMs for use by litigants, libraries, and other interested parties
3 CD ROMS
YES
Goal was exceeded - 5 CD ROMs issued.
2.4 Improve and strengthen mechanisms for communications between the Review Commission and entities that have an interest in its activities
50% of effort
(focus group)
NO
Completed evaluation of the electronic filing pilot program; however, there was no need for a focus group because of the limited number of participants.
2.5 Produce reports on the Review Commission's activities
1 report
NO
This goal was substantially met. A draft of the Biennial Report was completed, but finalized and published shortly after the end of the fiscal year.
2.6 Promote the use of electronic transmission of documents to the Review Commission
50% of effort
(evaluate pilot)
YES
Pilot completed and evaluated.
2.7 Improve the timeliness of responses to questions received from the public
Average of 20 work days (for Freedom of Information Act (FOIA) responses)
YES
On average, the Review Commission responded to FOIA requests within 19 workdays
3.1 Recruit and maintain a diverse, and highly motivated staff
50% of effort
(complete succession and transition plans and knowledge management)
YES
The Review Commission completed succession and transition plans, job competencies for major occupations, and knowledge management strategy for the Office of General Counsel. This effort is now 100% complete.
3.2 Provide training and career development opportunities for employees
Assess and prioritize training needs
YES
Training for employees and managers were assessed and prioritized. Employees received an average of 17 hours of training.
3.2.1 Expand training delivery methods to accommodate workforce needs
70% - classroom
20% - audio/video tape
10% - on-line
NO
Goal was substantially met. Training hours:
75% classroom ; 8% audio/video; 17% on-line
3.3 Improve internal communications
50% of effort (Complete development and installation of Intranet)
YES
Goal was met. The Review Commission’s Intranet has been implemented.
3.3.1 Identify, define, and enhance agency values and an agency culture that incorporates our values
50% of effort
(assessment complete, develop management initiative, if needed)
YES
Assessment of key aspects of current and target culture completed. The analysis revealed that there are no significant gaps. Therefore, no management initiative was found to be necessary. However, two initiatives were developed during the year to support and enhance the core values. This effort is now 100% complete.
3.4 Improve the systems that support financial management and personnel and payroll services
25% of effort
(Planning coordination and transition efforts with new financial service provider)
YES
Goal was exceeded - 100% of transition planning and coordination efforts completed, secure access provided, and conversion occurred on October 1, 2002 for financial and administrative transactions.
3.5 Link employee performance and team and incentive awards to the achievement of innovation and agency strategic and performance goals
50% of effort
(Revise awards program)
YES
Awards program was revised for all employees, and will be implemented in FY 2003.
3.6 Improve the performance management program to enhance individual and organizational effectiveness
25% of effort
(Review and rewrite 25% of position descriptions)
YES
Goal was exceeded - 27% of position descriptions were rewritten.
3.7 Invest in an effective information technology infrastructure that meets user needs and secures against unauthorized access or disruption
50% of effort
(Develop security policy and employee awareness initiatives and evaluate program effectiveness)
YES
Goal was exceeded - Agency policy (security program and plan) was developed and an external independent audit was completed. New employees received security orientation and 95% of employees received annual awareness training.
3.8 Improve the automation and research tools
30% of effort completed
(Prototype and monitor determined solutions for effectiveness)
YES
30 % of effort completed. New CD containing only Commission decisions was completed and a separate database of Commission decisions was developed for on-line legal research of Commission decisions. The effectiveness of these automated research tools are being monitored. This effort is now 80% complete.
3.9 Increase electronic communications to improve quality, availability, and speed of information and efficiency of operations
30% of improvement over base year 1999
(Migrate to client server environment for major applications)
NO
The goal was not met. Effort was 20% complete. Purchased, installed and trained employee on sequel server for Windows NT. The case tracking system that will migrate is being modified to fit the new infrastructure.
3.10 Improve case tracking/management information
50% of effort completed
(Implement additional reporting and data communication enhancements)
YES
The goal was met. Changed the case tracking system’s reporting functions to include new performance measures and report options for internal users.
3.11 Improve the quality of work life
2 initiatives
YES
The goal was met. The agency implemented two initiatives : (1) training on “healthy computing” and ordered equipment for regional and national office employees, and (2) increased the allowances provided under the transit subsidy program.
We also reviewed alternative dispute resolution initiatives used at various Federal courts and established quality standards for handling nonadjudicative processes.
FISCAL YEAR 2002 PERFORMANCE REPORT
Background on the Review Commission
The Review Commission is an independent, adjudicatory agency created by the Occupational Safety and Health Act of 1970. Its sole statutory mandate is to serve as an administrative court providing just and expeditious resolution of disputes involving the Occupational Safety and Health Administration (OSHA), employers charged with violations of federal safety and health standards, and employees and/or their representatives. The Review Commission was created by Congress as an agency completely independent of the Department of Labor to ensure that OSHA's enforcement actions are carried out in accordance with the law and that all parties are treated consistent with due process when disputes with OSHA arise.
Employers contesting citations are entitled to a full evidentiary hearing, consistent with the rules used by U.S. federal district courts, before the Review Commission’s administrative law judges. The Occupational Safety and Health Act and the Review Commission's Rules of Procedure, which by law mirror the federal rules, provide two levels of adjudication when an employer timely contests an OSHA citation for alleged violations of the Act or failure to abate such alleged violations. The first is a trial level before an Administrative Law Judge (ALJ). This level affords an opportunity for a hearing before a Review Commission ALJ for employers who have filed a timely notice of contest. The judge's decision becomes final unless the Commission reviews the decision. The second level is a discretionary appellate review of the judge's decision by the Commission's members. The Review Commission has three members, appointed by the President and subject to Senate confirmation, who serve six-year terms. Both before its judges and the Commissioners, the Review Commission seeks to provide fair, impartial, and timely adjudication of cases concerning the safety and health of employees' working conditions in the United States.
The principal (national) office of the Review Commission is located in Washington, D.C. There are also regional offices in Atlanta and Denver, where some of the Review Commission's Administrative Law Judges and staff are assigned.
Mission Statement
The mission of the Occupational Safety and Health Review Commission is to provide an impartial forum for the just and prompt adjudication of workplace safety and health disputes involving the Department of Labor, employers, and employees, and/or their representatives under the Occupational Safety and Health Act of 1970.
Vision Statement
The Review Commission continues to strive to be:
a quasi-judicial body that is -- and is recognized for being -- objective, fair, prompt, and professional;
an agency that creates a body of law through its decisions that define and explain the rights and responsibilities of employers and employees under the Occupational Safety and Health Act of 1970;
a model federal agency with highly effective processes, a highly motivated, qualified and diverse workforce, and modern information management, communications, and administrative systems; and
an agency that values team work, develops its employees, and strives to improve its performance, service, and value to the American people.
Fiscal Year 2000-2005 Strategic Plan Goals
In 1997, the Review Commission established goals to effectively accomplish its mission. The agency defined two broad external goals to improve the agency’s service to and its communication with its stakeholders and the public and three operational goals -- Information Technology, Human Resource, and Quality Management. When the Review Commission issued its Revised Strategic Plan for 2000-2005, the agency modified and realigned its performance goals. The Review Commission continued its two broad external goals to improve the agency’s service to and communications with its stakeholders and the public. However, the agency combined the three operational goals into one operational goal to align more closely with the overall mission of the agency.
Public Service Goal: To assure fair, just, and expeditious adjudication of disputes brought before the Commission and its judges, and achieve a high level of quality in all legal decisions
External Communications Goal: To enhance the efficiency and effectiveness of communications between the Commission and the public it serves
Organizational Goal: To further develop and invest in a highly effective, motivated, and diverse workforce equipped with modern information, technology, and communications systems to facilitate the accomplishment of its goals, meet program needs and increase organizational effectiveness and efficiency
Performance Data Verification
For each strategic goal and its related objectives, the Review Commission formulated performance measures and annual targets, numerical whenever possible. A few measures are necessarily qualitative in nature. Case processing and adjudication measurements are used for several objectives contained in our Public Service Goal. Most of the data related to the Public Service Goal resides in the Review Commission’s case management/tracking system. In FY 2002, each of the more than 2,100 new cases filed with the agency was entered into the case management system, and progress on all cases was tracked. In order to assure the quality of the data, management periodically reviews the information in the case management/tracking system. The agency conducts test runs of the data to ensure that information is input and updated on a timely basis. Semi-annual and annual reviews are conducted by the appropriate managers to ensure the accuracy of the data, to monitor performance goals and progress, and produce reports. The reports are used to assess workload and make workload adjustments, when necessary. At the end of the year, this data is used by the offices to measure performance related to the goal and improve program management.
Program Evaluation
The Review Commission contracted for an independent evaluation to be completed in FY 2002 for its computer and information security, consistent with the FY 2001 Defense Authorization Act ( P.L. 106-398), including Title X, subtitle G, Government Information Security Reform Act. This independent evaluation revealed that there were no material weaknesses in policy, procedures or practices present, but provided recommendations for improvement of the agency’s security program and plan. Some of the recommendations involved developing a process for using system development life cycle models for present and future systems and applications, modifying or supplementing existing security policies, and ensuring technical controls for hardware are improved to strengthen the agency’s security posture. The agency is using the recommendations from the review to develop management initiatives.
In addition, the Office of Personnel Management (OPM), Office of Merit Systems Oversight & Effectiveness, conducted an onsite evaluation of the agency’s human resource management program. OPM focused on the agency’s strategic alignment, workforce planning and deployment, leadership and knowledge management, performance culture, talent and accountability. Overall, OPM found that the agency’s human capital program promotes mission accomplishment within merit system principles, and that the agency had effective programs in place for the specific areas reviewed by OPM.
Public Service Goal
To assure fair, just, and expeditious adjudication of disputes brought before the Commission and its judges, and achieve a high level of quality in all legal decisions
Summary of FY 2002 Actual Performance: The Review Commission met three of the six performance targets set for this goal.
1.1 Increase the percent of non-complex cases disposed of with hearing that are disposed of within 325 days at the ALJ level.
● FY 2002 Indicator/Target: Complete 75 percent of non-complex cases disposed of with hearing within 325 days from the date of assignment to a judge. TARGET MET. Seventy-seven percent of cases were completed within the targeted time frame.
FY
1998
1999
2000
2001
2002
Cycle time
Goal
90%
within
375 days
90%
within
350 days
90%
within
325 days
N/A
Goal was changed
N/A
Goal was changed
Percent meeting
cycle time goal
Actual
59%
67%
58%
N/A
N/A
Percent of
non-complex
cases with hearing resolved within
325 days
Goal
New for FY 2001
New for FY 2001
New for FY 2001
70%
75%
Actual
N/A
N/A
N/A
83%
77%
1.2 Increase the percent of complex cases disposed of with hearing that are disposed of within 18 months at the ALJ level.
● FY 2002 Indicator/Target: Complete 75 percent of complex cases1 disposed of with hearing within 540 days from the date of assignment to a judge. TARGET MET. Ninety-two percent of cases were completed within the targeted time frame.
FY
1999
2000
2001
2002
Percent of complex cases without hearing resolved within 540 days
Goal
New for FY 2001
New for FY 2001
70%
75%
Actual
N/A
N/A
100%
92%
1.3 Increase the percent of cases that are disposed of without a hearing that are disposed of within six months at the ALJ level.
● FY 2002 Indicator/Target: Seventy-five percent of ALJ cases disposed of without hearing are disposed of within 180 days. TARGET MET. Seventy-seven percent of cases were completed within the targeted time frame.
FY
1998
1999
2000
2001
2002
Cycle time in days
Goal
180
180
180
180
180
Actual
158
155
159
180
180
Percent of cases
without hearing disposed of within 180 days
Goal
New for FY 2001
New for FY 2001
New for FY 2001
70%
75%
Actual
N/A
N/A
N/A
78%
77%
Number of cases disposed of without hearing
Actual
1,607
1,494
1,657
1,711
2,067
1.4 Increase the percent of cases that are disposed of without a hearing that are disposed of in one year at the ALJ level.
● FY 2002 Target: Ninety-nine percent of the cases closed without a hearing are resolved within 365 days. TARGET NOT MET. The agency came close to meeting this goal - 98 percent of cases were disposed of without hearing within 365 days. The agency failed to meet this target by 41 cases. In terms of number of cases that were actually disposed of without hearing in FY 2002, this is a small margin. The performance goal was set at an approximate level and the deviation from that level is slight. There was no effect on overall program or activity performance. Excluding the complex cases, cases that originated from remote locations, and the cases that were stayed from processing pending ongoing federal criminal proceedings, the Review Commission resolved 99 percent of cases in less than a year.
FY
1998
1999
2000
2001
2002
Percent of cases exceeding one year
Goal
5%
3%
2%
1%
1%
Actual
4%
3%
2.77%
1.82%
1.98
Percent of cases disposed of without hearing in less than a year
Goal
95%
97%
98%
99%
99%
Actual
96%
97%
97%
98%
98%
Number of cases disposed of without hearing in less than a year
Actual
2,125
2,023
2,416
2,158
2,026
1.5 Increase percent of Commission-level dispositions issued within 325 days.
● FY 2002 Indicator/Target: Fifty-five percent of new Commission-level cases are decided within 325 days of being directed for review. TARGET NOT MET. Forty-three percent of decisions (nine cases )were disposed of within 325 days of being directed for review. This was a considerable accomplishment, particularly since the Commission had a quorum for only four months this fiscal year. The Commission did not meet its goal because of the lack of a quorum for eight months in FY 2002. This circumstance is beyond the control of the agency. In December 2001, a recess appointment expired, leaving the Commission with only one member, for eight months in FY 2002. By statute, cases can only be decided by the affirmative vote of two commissioners. Thus, the Commission could not decide and dispose of cases from January 2002, until August 25, 2002. During that time, new cases came in. After the arrival of the new Chairman in September, the Commission disposed of four cases in the last month of FY 2002.
FY
1998
1999
2000
2001
2002
Cycle time
Percent of cases resolved within targeted time frame
Goal
95%
within
375 days
or less
95%
within
350 days
or less
95%
within
325 days
or less
Goal was changed
Goal was changed
Percent meeting cycle time goal
Actual
85%
47%
31%
N/A
N/A
Number of cases meeting cycle time goal
Actual
11
20
11
N/A
N/A
Average cycle time (in days)
Actual
262
447
566
583
530
Percent of Cases resolved within targeted time frame
Goal
New for FY 2001
New for FY 2001
New for FY 2001
50% within
325 days
55% within
325 days
Actual
N/A
N/A
N/A
56%
43%
Total number of cases resolved
Actual
13
43
36
52
21
1.6 Reduce by a percent the number of cases pending Commission-level disposition for more than two years.
● FY 2002 Indicator/Target: Thirty percent reduction in the number of cases pending Commission-level dispositions for more than two years. TARGET NOT MET. There was a 22 percent reduction in the number of such cases. The Commission disposed of five cases that were older than two years. The Commission did not meet its goal because it lost its quorum of commissioners, and therefore, it also lost the ability to decide cases. By statute, cases can only be decided by the affirmative vote of two commissioners. For most of FY 2002, only one commissioner’s position was filled. In December 2001, a recess appointment expired, leaving the Commission with only one member for eight months in FY 2002. Cycle time is not adjusted when the Commission is without a quorum. As a result, not only were very few cases disposed of in FY 2002 within the performance goal period, but also, all other pending cases continued to mature creating a larger inventory of older cases.
The positive effort that the Commission was able to obtain from July 2000 through December 2001, was curtailed with the loss of commissioners.2 However, since November 2002, the Commission has had three members. The retirement of older, very large and complex cases continues to be a priority, even though adjudicating these cases may impact negatively on the other performance target for Commission-level decisions – the adjudication of newer cases directed for review. Preparation of each of these cases consumes a huge amount of Commissioner and attorney time, and limits consideration of new cases. While progress is being made with these very large complex and older cases, consideration is being given to revising our performance measures for Commission-level goals (1.5 and 1.6) to reflect the need to ensure the prompt adjudication of cases.
FY
1997
1998
1999
2000
2001
2002
Percent reduction in cases pending more than two years
Goal
New for FY 2001
New for FY 2001
New for FY 2001
New for FY 2001
25% reduction in number of cases pending more than two years
30% reduction in number of cases pending more than two years
Actual
N/A
N/A
N/A
N/A
36% reduction in number of cases pending more than two years
22% reduction in number of cases pending more than two years
External Communications Goal
To enhance the efficiency and effectiveness of communications between the Commission and the public it serves
Summary of FY 2001 Actual Performance: The Review Commission met five of the seven performance targets set for this goal.
2.1 Improve the effectiveness of our website to ensure its communications remain open, research-friendly, and current. (New FY 2002 Performance Goal)
● FY 2002 Indicator/Target: One enhancement TARGET MET. Goal was exceeded. The agency revamped "About OSHRC" to include more information on the agency’s history. Specifically, the agency added the Commission members names and dates of service and improved its links for agency vacancy announcements. The agency also performed random checks about every two months on the decisions pages for broken links and when such were found, corrected the link.
2.2 Extent to which Commission decisions and other publications and case information are made available electronically through the agency’s world wide website.
● FY 2002 Indicator/Target: Completion of 30% of effort to convert older decisions electronically to permit their placement on the agency’s website. TARGET MET. Commission decisions and numerous ALJ decisions dating back to 1973 have been converted electronically for placement on the website. More than 2,500 older decisions have been placed on the website.
FY
1998
1999
2000
2001
2002
Percent of effort to complete
Goal
50%
30%
100%
75%
30%
Actual
50%
(Website established with recent decisions)
70%
(Site established with earlier decisions)
100%
(Enhanced search engine, and add older decisions on website)
70%
(Added older decisions on website and improve search capabilities)
30%
(Older decisions converted electronically and added to website)
2.3 Improve the frequency of publication of CD-ROMs for use by litigants, libraries, and other interested parties.
● FY 2002 Indicator/Target: Publish three CD-ROMs to include the most recent Review Commission decisions for use by litigants, libraries and other interested parties. TARGET MET. Goal exceeded - five were published
FY
1998
1999
2000
2001
2002
Number of CD-ROMs
Goal
1
1
1
1
3
Actual
0
1
2
3
5
2.4 Improve and strengthen mechanisms for communications between the Review Commission and entities that have an interest in its activities
● FY 2002 Indicator/Target: Fifty percent of effort - Conduct focus group to review key business processes. TARGET NOT MET. Pilot participants in the agency’s electronic filing pilot assisted in the agency’s evaluation of its pilot. A focus group was no longer needed to complete the evaluation due to the limited number of participants; however, participants in the pilot assisted with the agency’s evaluation effort.
FY
1998
1999
2000
2001
2002
Percent of effort to complete
Goal
50%
80%
100%
100% (survey)
50% (focus group)
Actual
50%
(National Safety and Health Adjudi-cator’s Con-ference held)
70%
(Update some links to State Websites and draft report of State Plan’s procedures completed)
100%
(Improved website links and ADR forum held)
100%
(E-Z Trial survey completed)
50%
(Electronic filing pilot evaluated)
2.5 Produce reports on the Review Commission’s activities
● FY 2002 Indicator/Target: One Biennial Report. TARGET NOT MET. A draft of the Biennial Report was completed prior to the end of the fiscal year and published in October 2001. The report covered fiscal years 2000- 2001. Previous Biennial Reports had been published for fiscal years 1998-1999 and 1996-1997.
2.6 Promote the use of electronic transmission of documents to the Review Commission
● FY 2002 Indicator/Target: Evaluate the pilot. TARGET MET. Pilot was completed and evaluated. Electronic filing should commence in FY 2003, consistent with the Government Paperwork Elimination Act.
FY
1998
1999
2000
2001
2002
Percent of steps
completed
Goal
N/A
Determine feasibility
Pretest and pilot
Continue pilot
Evaluate the pilot
Actual
N/A
Determined feasibility
Pretested and piloted
Continued pilot
Evaluated the pilot
2.7 Improve the timeliness of response to questions received from the public (New FY 2002 Performance Goal)
● FY 2002 Indicator/Target: Average 20 workdays for responses to Freedom of Information Act (FOIA) requests. TARGET MET. Goal Exceeded. The agency responded to FOIA requests in an average of 19 workdays.
Organizational Goal
To further develop and invest in a highly effective, motivated, and diverse workforce equipped with modern information, technology, and communications systems to facilitate the accomplishment of its goals, meet program needs and increase organizational effectiveness and efficiency
Summary of FY 2001 Actual Performance: The Review Commission met 11 of 13 of the performance targets set for this goal.
3.1 Recruit and maintain a diverse and highly motivated staff
● FY 2002 Indicator/Target: Fifty percent of effort (complete succession and transition plans and knowledge management strategy). TARGET MET. Succession plan and recruitment resource listings were updated. Transition plan and job competencies for major occupations were completed. Knowledge management strategy for the Office of General Counsel was completed. This effort is now 100% complete based on FY 2001 and FY 2002 performance.
FY
1998
1999
2000
2001
2002
Percent of effort completed
Goal
New for FY 2001
New for FY 2001
New for FY 2001
50%
50%
Actual
N/A
N/A
N/A
50%
(Developed succession plans, knowledge management strategies and job competencies)
50%
(Completed FY 2001 efforts and wrote workforce transition plans)
3.2 Provide training and career development opportunities for employees
● FY 2002 Indicator/Target: Assess and prioritize training needs. TARGET MET. Training for employees and managers was assessed and prioritized. Classroom training on the prioritized subject matters was provided onsite for employees. Employees received an average of 17 hours of training.
FY
1998
1999
2000
2001
2002
Average number of training hours
Goal
30 hours
40 hours
40 hours
40 hours
Assess and prioritize training needs
Actual
30 hours
40 hours
40 hours
40 hours
Assessed and prioritized training needs;
17 hours of training provided
3.2.1 Expand training delivery methods to accommodate workforce needs (New FY 2002 Performance Goal)
● FY 2002 Indicator/Target: Seventy percent classroom, 20% audio/video tape, 10% on-line. TARGET NOT MET. Substantial effort was made to expand training delivery methods. Employees obtained training through classroom (75%), audio/video (8%) and on-line (17%) methods. This effort was not met because fewer audio/video tapes were used for training purposes. The performance goal was set at an approximate level and the deviation from that level is slight. There was no effect on overall program or activity performance.
3.3 Improve internal communications
● FY 2002 Indicator/Target: Fifty percent of effort (complete development and installation of Intranet). TARGET MET. Intranet was implemented by enabling the agency’s servers to act as a repository of information. Employees can access shared folders to obtain important agency information, such as agency decisions, policy directives, and memoranda. This effort is now 100% complete based on FY 2001 and FY 2002 performance.
3.3.1 Identify, define, and enhance agency values and an agency culture that incorporates our values.
● FY 2002 Indicator/Target: Fifty percent of effort (complete assessment and analysis, and develop management initiative, if necessary). TARGET MET. Assessment and analysis of key aspects of current and target culture completed. Based on the organizational survey and management consultations, the core values of the organization are: equal justice, excellence, professionalism, and respect. It was also determined that no significant gaps exist between the core values and the existing situation in the organization. Therefore, no management initiative was needed to narrow the gaps. However, several initiatives developed during the year address the maintenance and enhancement of the core values. For example, as part of the core value of professionalism, we should seek high quality in our work product and work environment. To reinforce the quality of our work environment, training was provided on appropriate posture while working on a computer. Work stations were assessed to determine the need for assistive devices. As part of the core value of excellence, we strive to maintain high standards of legal excellence. To enhance our legal excellence, the agency obtained equipment that will allow for sharing of documents, and enhanced security of electronic records as they are processed and edited for final publication.
3.4 Improve the systems that support financial management and personnel and payroll services.
● FY 2002 Indicator/Target: Twenty-five percent of effort (planning, coordination, and transition efforts with new financial service provider). TARGET MET. The goal was exceeded. One hundred percent of transition planning and coordination efforts was completed for conversion to a new financial and administrative service provider. The structure and transmissions provide secure access. Conversion was completed on October 1, 2002 for financial and administrative transactions. Payroll services remain secure with current personnel and payroll service provider.
FY
1998
1999
2000
2001
2002
Percent
Complete
Goal
90%
10%
Assess
Maintain
25%
(Plan and coordinate)
Actual
90%
100%
Assessed
Maintained
100%
(Planning and coordination completed)
3.5 Link employee performance and team and incentive awards to the achievement of innovation and agency strategic and performance goals. (New FY 2002 Performance Goal)
● FY 2002 Indicator/Target: Fifty percent of effort (Revise awards program). TARGET MET. Existing awards programs were reviewed. The Awards Program was revised and will be implemented in FY 2003.
3.6 Improve the performance management program to enhance individual and organizational effectiveness. (New FY 2002 Performance Goal)
● FY 2002 Indicator/Target: Twenty-five percent of effort (Review and rewrite 25% of position descriptions). TARGET MET. The goal was exceeded. Twenty-seven percent of position descriptions were rewritten.
3.7 Invest in an effective information technology infrastructure that meets user needs and secures against unauthorized access or disruption. (New FY 2002 Performance Goal)
● FY 2002 Indicator/Target: Fifty percent of effort (develop security policy and employee awareness initiative). TARGET MET. Agency policy (security program and plan) was developed and implemented. An external independent audit was completed. New employees received security orientation and 95% of all employees received annual awareness training.
3.8 Improve the automation and research tools
● FY 2002 Indicator/Target: Thirty percent of effort (Prototype and monitor determined solutions for effectiveness). TARGET MET. The team decided to create a new CD containing only Commission decisions and request the agency’s on-line service provider establish a separate database of Commission decisions. These recommendations were implemented. The effectiveness of these automated research tools are being monitored. This effort is now 80% complete.
FY
1998
1999
2000
2001
2002
Percent of effort completed
Actual
New for FY 2001
New for FY 2001
New for FY 2001
50%
(Develop intercomponent team to define and assess efficiency improvement)
30%
(Prototype and monitor determined solutions for effectiveness)
Goal
N/A
N/A
N/A
50%
(Team established)
30%
(CD published and on-line database of only Commission-level decisions developed; effectiveness is being monitored)
3.9 Increase electronic communications to improve quality, availability, and speed of information and efficiency of operation. (New FY 2001 Performance Goal)
● FY 2002 Indicator/Target: Thirty percent of effort (Migrate to client server environment for major application). TARGET NOT MET. Twenty percent of effort was completed. The agency purchased, installed, and trained one of its IT employees on sequel server for Windows NT. The case tracking application will be migrated. Substantial work was completed; however, additional migration efforts for case tracking data must be completed and tested prior to deployment. This goal was not met because of other workload priorities. The performance goal was set at an approximate level and the deviation from that level is slight. There was no effect on overall program or activity performance.
FY
1998
1999
2000
2001
2002
Percent of improvement over base year, FY 1999
Goal
New for FY 2001
New for FY 2001
New for FY 2001
50%
(Improve speed and access to outside sources)
30%
(Migrate to client server environment for major applications)
Actual
N/A
N/A
N/A
50%
(Increased bandwith and communica-
tions)
20%
(Purchased and installed equipment and trained employees)
3.10 Improve case tracking information system
● FY 2002 Target: Fifty percent of effort (Implement additional reporting and data communication enhancements). TARGET MET. Reporting functions were changed to include new performance measures and options for internal users. Changes included modifications to the report of ALJ level case activities for selected time periods and options for users to print summary sheets to display case profile information.
FY
1998
1999
2000
2001
2002
Percent of effort completed
Goal
60%
20%
20%
50%
(Enhance case management information system)
50%
(Implement additional reporting and data communica-tions)
Actual
60% of effort completed)
80% of effort completed)
100% of effort completed)
50%
(Modified and streamlined reporting functions)
50%
(Reporting functions changed to include new performance measures and options for users)
3.11. Improve the quality of work life. (New FY02 Performance Goal)
● FY 2002 Target: Two initiatives. TARGET MET. The agency provided training on “healthy computing” and ordered equipment for regional and national office employees. The agency also increased the allowances provided under the transit subsidy program.
1Complex cases are those involving many parties, intricate legal issues, multiple\violations, a large number of witnesses, or extensive discovery.
2Many cases have been pending before the Review Commission for several years. In March 2000, more than 50 cases were older than two years. A large percentage of those cases were older than four years. In FY 2000, the Commission resolved several cases dating back to the early part of the 1990s. Over the period July 2000 through October 2000, the Review Commission disposed of 12 cases that had a cumulative age at the Commission level of 57 years. Most of these cases were very large, both in terms of record size and the number and complexity of issues. During FY 2001, the Commission continued its efforts to reduce the inventory of its pending cases. Indeed, despite the absence of a quorum for one month and a change in Commission composition, the Commission resolved 52 cases during the fiscal year 2001. The Commission reduced its inventory from 88 cases at the beginning of the fiscal year 2000 to 67 cases by the end of FY 2001. In addition, in FY 2001, the Commission exceeded its target to reduce the number of cases pending more than two years by 25%, by disposing of 36% of the cases.